Description

As part of the role, you will liaise with investment and cross-functional teams to safeguard regulated activities and support global compliance monitoring, trading oversight, and information barrier matters across Asia, Japan, the UK, and the US.

Key responsibilities:

• Support the company's compliance programs by monitoring daily trading activity to ensure adherence to investment guidelines, restrictions, and internal policies
• Implement monitoring and reporting frameworks for complex investment strategies
• Support the Information Barrier program, including MNPI risk assessments and establishment/removal of information barriers
• Provide insights on compliance trends and issues, with recommendations for remediation and process improvements
• Collaborate with global teams and regulators to support regulatory change initiatives and ongoing compliance alignment

Candidate profile:

• Bachelor's degree with 3-5 years' experience in financial services, ideally in mutual fund compliance, operations, or risk management
• Strong written and verbal communication skills
• Solid analytical and problem-solving abilities
• Highly organised with the ability to manage multiple priorities and work independently or in a team
• Mandarin and/or Japanese language skills are a plus

About the company:

A global financial services firm with an Asia presence focused on investment and asset management across diverse markets. It offers a collaborative, high-performance environment with strong emphasis on compliance, innovation, and professional growth.

Keywords: investment compliance, regulatory compliance, risk assessment, compliance insights support, mutual fund compliance, financial services

What's next:

Apply now to join a global investment team and grow your career!